Investigative Director, Mrts-Market Investigations

The Investigative Director (Director) manages a team of investigators developing the factual record for Market Regulation cases of various sizes and levels of complexity where there is?cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation. The Director manages the investigators' dockets; ensures investigations are comprehensive and timely; and provides oversight, direction, and active management of the investigations to achieve department-wide and corporate goals. The Director provides timely and meaningful feedback to the Surveillance and Market Intelligence function of Market Regulation, as well as fosters positive and effective working relationships with the Enforcement Department and other Regulatory Operations (RegOps) partners. Essential Job Functions: Manages a team of individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback. Directs the execution of investigations and approves investigative findings and analysis for quality, accuracy, and clarity for a team of investigators and across the applicable Regulatory Rule Area. Responsible for managing their team's day to day operations, demonstrates advanced expertise of the work in their specific area, and has a general understanding of a broader scope of work in related teams.  Communicates with top management regarding the progress of investigations and staff caseloads, and subsequently develops plans for the timely resolution of cases.  Effectively partners and collaborates with Enforcement on investigations.  Proactively identifies opportunities for the expansion of the regulatory program within the Market Regulation Department by strategically identifying trends, new or expanded areas of review, and providing feedback on cases and surveillance output.  Identifies and escalates significant regulatory issues, programmatic risks, emerging regulatory or market trends, and impacts other FINRA business units.  Executes changes to the regulatory program within the applicable Regulatory Rule Area in response to new rules and initiatives.  Represents the applicable Regulatory Rule Area by providing specific subject matter expertise and intelligence across RegOps teams. Participates in special projects, surveys, committee assignments, and technology initiatives impacting Market Investigations.  Other Responsibilities: Assesses the effectiveness of the procedures and escalates opportunities for improvements, when appropriate.   Education & Experience Requirments: Bachelor's degree and a minimum eight (8) years of experience in the securities/financial services industry required with substantive knowledge of regulatory compliance in positions of increasing responsibilities; or an equivalent combination of education and experience. Minimum two (2) years of experience supervising projects and/or mentoring junior and senior staff. Extensive working knowledge of FINRA and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder. Demonstrated ability to oversee comprehensive matters for potential violations of rules and securities laws. Demonstrated ability to lead and produce outstanding measurable results.? Familiarity with diverse investigative technologies, data analysis and data strategies. Requires excellent written and verbal communications skills, including interpersonal and presentation skills. Working Conditions: This is a hybrid position, with office attendance expected as deemed necessary. Some work outside of business hours and travel may be required.   For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons . California: Minimum Salary $146,200, Maximum Salary $296,100
Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
Washington: Minimum Salary $127,300, Maximum Salary $283,800
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at   .   Please note that this process is exclusively for inquiries regarding application accommodations. 
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits. 
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
Important Information FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. You can read more about these restrictions here .
As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.
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